CalALTs Webinar: Private Funds: Continued Regulatory Focus on Age-Old Practices – Disclosure & Fees
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4/27/2017
When: Thursday, April 27, 2017
12:00-12:45 p.m.
Where: Webinar
Registration confirmation email includes webinar access instructions
Contact: CalALTs
(415)369-9646


Online registration is closed.
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Join us for this FREE webinar presented by the CalALTs Best Practices Committee and Platinum Partner National Regulatory Services (NRS) to discuss: 

  • Regulatory Developments for Private Funds
  • SEC Focus Areas
  • Effective Compliance Programs

The presentation will be approximately 45 minutes with time reserved at the end for questions.

 

Presenter

Larry Nakamura
Senior Regulatory Consultant
National Regulatory Services (NRS)

 

Larry Nakamura joined NRS in 2010 and is a Consultant, Investment Adviser and Broker-Dealer Services. Larry has over 19 years of broad experience in the securities industry with compliance, trading, registered and unregistered fund structures, operations and executive management. Larry has been a principal executive of several independent registered investment advisory firms and broker-dealers. Prior to joining NRS Larry served as the Chief Compliance Officer of Dunham & Associates Investment Counsel, Inc. During this period Larry was responsible for the compliance of 13 Reg. D funds, Section 3(c)(3) Common & Collective Funds and was also part of the executive team that lead the development and launch of 12 registered 1940 Act funds for this organization. Larry has extensive real-world experience with helping firms develop internal controls and practical procedures in the areas of trading, operations and compliance. In 1998 Larry co-founded Nexa Technologies, Inc. which designed and developed a multi-lingual direct access trading platform, trading tools, and back office system for active trading firms.

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